Spectrum Asset Management, Inc. (NB/CA)
Reported holdings as of Q3 2026, from 32 quarterly filings.
Holdings
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| Security | Ticker | Value | Shares | Weight | Weight change | Held | Change |
|---|---|---|---|---|---|---|---|
| WELLS FARGO & CO PUT | WFC | $31.4M | 388,794 | -0.35pp | 3q | -4.5%-$1.5M | |
| VANGUARD BD INDEX FDS | VUSB | $23.3M | 471,176 | flat | 5q | -3.4%-$827.3K | |
| INVESCO EXCHANGE TRADED FD T | RSP | $18.3M | 88,153 | -2.14pp | 16q | -30.0%-$7.9M | |
| SCHWAB STRATEGIC TR | SCHV | $17.8M | 535,226 | +0.08pp | 26q | +2.0%+$345.2K | |
| FIRST TR EXCHNG TRADED FD VI | DMAY | $13.1M | 272,747 | +0.20pp | 10q | HELD | |
| FIRST TR EXCHNG TRADED FD VI | DSEP | $13.0M | 266,981 | +0.41pp | 9q | +4.8%+$594.5K | |
| ISHARES GOLD TR | IAU | $12.7M | 162,896 | +0.33pp | 22q | +2.1%+$257.3K | |
| FIRST TR EXCHNG TRADED FD VI | DMAR | $11.2M | 245,860 | +0.18pp | 11q | HELD | |
| SCHWAB STRATEGIC TR | SCHF | $9.4M | 341,220 | +0.82pp | 32q | +38.7%+$2.6M | |
| FIRST TR EXCHNG TRADED FD VI | YMAR | $7.3M | 251,687 | +0.10pp | 3q | HELD | |
| FIRST TR EXCHNG TRADED FD VI | DFEB | $7.1M | 137,608 | +0.09pp | 11q | -1.6%-$117.2K | |
| SCHWAB STRATEGIC TR | SCHG | $7.1M | 197,461 | +0.35pp | 32q | +9.0%+$587.1K | |
| CHEVRON CORPORATION | CVX | $6.5M | 31,910 | +0.40pp | 32q | -1.3%-$84.1K | |
| EXXONMOBIL HOLDINGS CORP | XOM | $6.5M | 39,651 | - | new | NEW | |
| ILLUMINA INC | ILMN | $6.3M | 23,111 | +0.68pp | 3q | -2.0%-$130.0K | |
| CISCO SYS INC | CSCO | $5.8M | 53,565 | -0.12pp | 32q | -2.2%-$129.9K | |
| FIRST TR EXCHNG TRADED FD VI | DDEC | $5.6M | 115,653 | +0.07pp | 4q | -2.3%-$129.7K | |
| ALPHABET INC | GOOG | $5.5M | 16,010 | -0.27pp | 11q | -15.0%-$961.2K | |
| SELECT SECTOR SPDR TR | XLV | $5.2M | 30,846 | - | new | NEW | |
| ISHARES TR | USMV | $5.1M | 52,787 | +0.08pp | 20q | HELD | |
| MICROSOFT CORP | MSFT | $4.9M | 9,596 | +0.41pp | 32q | -1.5%-$73.9K | |
| ABBVIE INC | ABBV | $4.6M | 17,730 | +0.07pp | 32q | -2.4%-$112.2K | |
| FIRST TR EXCHNG TRADED FD VI | DJUN | $4.5M | 90,014 | +0.04pp | 2q | -2.3%-$107.9K | |
| WALMART INC | WMT | $4.2M | 40,303 | -0.06pp | 32q | HELD | |
| EMCOR GROUP INC | EME | $4.1M | 5,377 | -0.10pp | 6q | -2.7%-$111.7K | |
| ISHARES INC | SCJ | $4.0M | 36,129 | +0.11pp | 8q | +2.2%+$86.7K | |
| CHARLES SCHWAB CORP (THE) | SCHW | $3.8M | 39,265 | +0.08pp | 27q | -2.3%-$88.8K | |
| FREEPORT-MCMORAN INC | FCX | $3.8M | 54,743 | +0.13pp | 3q | -2.1%-$82.5K | |
| SELECT SECTOR SPDR TR | XLE | $3.7M | 60,588 | +0.19pp | 32q | +0.9%+$33.8K | |
| EMERSON ELEC CO | EMR | $3.6M | 23,000 | +0.09pp | 25q | -3.0%-$111.4K | |
| DUKE ENERGY CORP NEW | DUK | $3.3M | 28,959 | -0.08pp | 26q | -1.9%-$62.9K | |
| SERIES PORTFOLIOS TR | CLOX | $3.3M | 127,301 | +0.06pp | 4q | +2.4%+$75.3K | |
| NOVARTIS AG | NVS | $3.2M | 22,272 | -0.07pp | 6q | -2.3%-$75.8K | |
| BERKSHIRE HATHAWAY INC DEL | BRKB | $3.1M | 6,313 | +0.02pp | 32q | -1.7%-$54.8K | |
| EDWARDS LIFESCIENCES CORP | EW | $3.0M | 34,970 | -0.03pp | 10q | -2.9%-$89.8K | |
| L3HARRIS TECHNOLOGIES INC | LHX | $3.0M | 12,528 | -0.17pp | 11q | -1.6%-$47.8K | |
| ISHARES TR | ESGU | $2.9M | 17,592 | +0.07pp | 24q | +2.9%+$83.9K | |
| ISHARES TR | SGOV | $2.9M | 28,562 | -0.38pp | 2q | -34.1%-$1.5M | |
| SCHWAB STRATEGIC TR | SCHR | $2.7M | 112,870 | -0.12pp | 6q | -13.5%-$419.3K | |
| STATE STR SPDR S&P 500 ETF T | SPY | $2.5M | 3,221 | +0.04pp | 32q | HELD | |
| SCHWAB STRATEGIC TR | SCHB | $2.4M | 82,157 | +0.05pp | 32q | +2.4%+$56.4K | |
| BERKSHIRE HATHAWAY INC DEL | BRKA | $2.2M | 3 | +0.02pp | 7q | HELD | |
| LINDE PLC | LIN | $2.2M | 4,619 | -0.05pp | 7q | -2.1%-$46.5K | |
| ORACLE CORP | ORCL | $2.1M | 15,441 | -0.03pp | 27q | -2.3%-$50.1K | |
| SOLSTICE ADVANCED MATLS INC | SOLS | $2.0M | 35,560 | -0.17pp | 4q | +17.4%+$296.9K | |
| APPLE INC | AAPL | $2.0M | 5,929 | +0.08pp | 26q | -2.9%-$57.9K | |
| FIRST TR EXCHNG TRADED FD VI | DJAN | $1.9M | 39,662 | +0.03pp | 3q | -0.9%-$17.3K | |
| ALPHABET INC | GOOGL | $1.8M | 5,104 | flat | 32q | HELD | |
| HONEYWELL INTL INC | HON | $1.6M | 7,389 | -0.10pp | 2q | -16.6%-$311.3K | |
| FIRST TR EXCHNG TRADED FD VI | DNOV | $1.5M | 28,275 | +0.03pp | 8q | HELD | |
| VANGUARD INDEX FDS | VUG | $1.4M | 15,881 | +0.10pp | 32q | +19.3%+$231.9K | |
| VISA INC | V | $1.4M | 3,840 | +0.03pp | 32q | HELD | |
| FIRST TR EXCHNG TRADED FD VI | DAPR | $1.4M | 32,760 | +0.02pp | 6q | HELD | |
| MCKESSON CORP | MCK | $1.4M | 1,600 | +0.06pp | 17q | HELD | |
| HONEYWELL AEROSPACE INC | HONA | $1.3M | 8,632 | -0.16pp | 2q | -2.5%-$33.8K | |
| ISHARES TR | LQD | $1.3M | 12,890 | -2.25pp | 2q | -85.2%-$7.6M | |
| COSTCO WHOLESALE CORPORATION | COST | $1.3M | 1,410 | flat | 32q | HELD | |
| GLOBAL X FDS | MLPX | $1.3M | 18,353 | - | new | NEW | |
| RTX CORPORATION | RTX | $1.2M | 6,527 | +0.01pp | 26q | HELD | |
| BLACKROCK ETF TRUST II | CALI | $1.1M | 21,230 | - | new | NEW | |
| NVIDIA CORPORATION PUT | NVDA | $1.0M | 4,413 | +0.05pp | 14q | HELD | |
| SLB LIMITED | SLB | $1.0M | 20,571 | - | new | NEW | |
| FIRST TR EXCHNG TRADED FD VI | DJUL | $908.9K | 17,755 | +0.18pp | 9q | +203.8%+$609.7K | |
| VANGUARD TAX-MANAGED FDS | VEA | $882.9K | 12,503 | +0.03pp | 32q | +11.5%+$91.2K | |
| ISHARES TR | IJR | $882.6K | 6,488 | -0.01pp | 3q | +2.1%+$18.1K | |
| GE VERNOVA INC | GEV | $822.2K | 865 | -0.03pp | 3q | +4.8%+$38.0K | |
| ISHARES TR | IHI | $802.0K | 15,680 | - | new | NEW | |
| GE AEROSPACE | GE | $800.7K | 2,564 | -0.04pp | 7q | -0.5%-$4.1K | |
| MARVELL TECHNOLOGY INC | MRVL | $797.7K | 3,019 | -0.02pp | 3q | -0.9%-$7.1K | |
| DEERE CO | DE | $764.8K | 1,136 | +0.02pp | 32q | HELD | |
| FIRST TR EXCHNG TRADED FD VI | DOCT | $742.8K | 15,460 | +0.01pp | 8q | HELD | |
| VANGUARD SCOTTSDALE FDS | VONE | $691.1K | 2,009 | +0.01pp | 23q | HELD | |
| AMAZON COM INC | AMZN | $690.9K | 2,773 | +0.02pp | 6q | +0.6%+$4.0K | |
| ISHARES TR | TLT | $651.0K | 8,370 | -0.01pp | 14q | HELD | |
| SPDR SERIES TRUST | BIL | $584.2K | 6,375 | +0.06pp | 3q | +52.7%+$201.6K | |
| ISHARES TR | IBTH | $577.1K | 25,856 | +0.01pp | 12q | +1.0%+$5.6K | |
| ISHARES TR | SHY | $568.4K | 7,000 | flat | 2q | HELD | |
| FRANCO NEV CORP | FNV | $553.4K | 2,324 | +0.02pp | 4q | -0.9%-$4.8K | |
| PFIZER INC | PFE | $546.5K | 19,163 | +0.03pp | 11q | +1.5%+$7.9K | |
| PERMIAN RESOURCES CORP | PR | $542.2K | 25,670 | - | new | NEW | |
| VERALTO CORP | VLTO | $540.0K | 5,717 | - | new | NEW | |
| MEDTRONIC PLC | MDT | $522.1K | 6,001 | +0.02pp | 28q | HELD | |
| ELI LILLY & CO | LLY | $514.9K | 445 | flat | 4q | -0.9%-$4.6K | |
| MCDONALDS CORP | MCD | $501.1K | 2,170 | -0.02pp | 27q | HELD | |
| VANGUARD INDEX FDS | VTI | $466.7K | 1,247 | +0.01pp | 32q | HELD | |
| STMICROELECTRONICS N V | STM | $447.3K | 8,383 | -0.05pp | 2q | -0.8%-$3.7K | |
| GLOBAL X FDS | MLPA | $439.7K | 8,258 | +0.01pp | 23q | +1.8%+$7.9K | |
| CELESTICA INC | CLS | $394.3K | 1,091 | - | new | NEW | |
| SEMPRA | SRE | $380.9K | 4,844 | -0.01pp | 23q | +0.7%+$2.7K | |
| NEWMONT CORP | NEM | $365.4K | 3,168 | +0.02pp | 3q | HELD | |
| MORNINGSTAR INC | MORN | $348.5K | 1,834 | +0.02pp | 31q | HELD | |
| TESLA INC | TSLA | $336.1K | 947 | -0.11pp | 8q | -45.6%-$281.5K | |
| CATERPILLAR INC | CAT | $334.7K | 413 | -0.03pp | 4q | HELD | |
| VERTEX PHARMACEUTICALS INC | VRTX | $331.5K | 634 | +0.01pp | 4q | HELD | |
| ISHARES TR | IBTI | $307.8K | 14,048 | flat | 4q | HELD | |
| ISHARES TR | IBTK | $303.5K | 15,984 | - | new | NEW | |
| AGNICO EAGLE MINES LTD | AEM | $302.4K | 1,650 | +0.02pp | 3q | HELD | |
| SPDR GOLD TR | GLD | $294.4K | 773 | +0.01pp | 16q | -0.9%-$2.7K | |
| ISHARES TR | IVV | $284.1K | 371 | flat | 24q | -5.1%-$15.3K | |
| PEPSICO INC | PEP | $283.6K | 2,238 | flat | 32q | +1.1%+$3.0K | |
| SPDR INDEX SHS FDS | SPDW | $277.3K | 5,522 | flat | 32q | HELD | |
| BANK OF AMER CORP | BAC | $272.4K | 5,004 | flat | 6q | HELD | |
| INTERNATIONAL BUSINESS MACHS | IBM | $263.9K | 1,200 | -0.02pp | 11q | HELD | |
| FORGENT POWER SOLUTIONS INC | FPS | $259.3K | 6,925 | -0.03pp | 2q | HELD | |
| ALTRIA GROUP INC | MO | $233.1K | 3,405 | flat | 3q | HELD | |
| ISHARES TR | IWB | $225.1K | 541 | flat | 5q | HELD | |
| VANGUARD INDEX FDS | VTV | $223.4K | 1,034 | - | new | NEW | |
| HEARTBEAM INC | BEAT | $36.8K | 100,400 | -0.01pp | 14q | HELD | |
| LOANDEPOT INC | LDI | $7.1K | 12,000 | flat | 4q | HELD | |
| WTS TNON 0.56 | TNONW | $4.1K | 679,420 | flat | 9q | HELD |
By sector
Industry comes from the SIC code on each company's own SEC filings, which is self-reported and sometimes out of date. Derivative exposure is counted with the shares. Securities the SEC assigns no industry - funds, trusts, foreign issues - are shown as not classified rather than dropped.
| Sector | Value | Share |
|---|---|---|
| Banks & Lending | $31.7M | 9.1% |
| Capital Markets | $17.2M | 5.0% |
| Biotech & Pharma | $15.5M | 4.5% |
| Energy | $14.5M | 4.2% |
| Software & IT Services | $14.3M | 4.1% |
| Semiconductors & Electronics | $8.1M | 2.3% |
| Computer Hardware | $8.0M | 2.3% |
| Autos & Aerospace | $7.4M | 2.1% |
| Retail & Consumer | $6.7M | 1.9% |
| Insurance | $5.4M | 1.6% |
| Other sectors | $27.9M | 8.1% |
| Not classified | $189.7M | 54.8% |
What the disclosed book did
This is not the fund's return. A 13F shows long US equity positions only, so shorts, bonds, foreign listings, private holdings and cash are all invisible here. What this measures is the quarter's change in value of the positions this manager disclosed, had they been left untouched - the return a reader following the filing would have earned.
| Quarter | Book | Market | Difference | Priced |
|---|---|---|---|---|
| Q3 2026 | +0.2% | +2.1% | -2.0% | 100% |
| Q2 2026 | +4.2% | +14.8% | -10.6% | 100% |
| Q1 2026 | +2.2% | -4.6% | +6.8% | 100% |
| Q4 2025 | +0.5% | +2.4% | -1.9% | 100% |
| Q3 2025 | +6.2% | +7.8% | -1.6% | 100% |
| Q2 2025 | +5.4% | +10.5% | -5.0% | 100% |
| Q1 2025 | +0.7% | -4.6% | +5.2% | 100% |
| Q4 2024 | -1.3% | +2.1% | -3.4% | 100% |
Market is SPY over the same two quarter ends, priced the same way as everything else here - the median across every filer reporting it. It is a large-cap US proxy, so a manager holding small caps or biotech will beat or trail it for reasons that are not skill. Prices are quarter-end to quarter-end and say nothing about the path in between, or about trades opened and closed inside a quarter.
Quarter by quarter
| Quarter | Value | Positions | New | Added | Trimmed | Exited | Top 10 | Days to file |
|---|---|---|---|---|---|---|---|---|
| Q3 2026 | $346.3M | 110 | 11 | 23 | 38 | 14 | 45.5% | 19 |
| Q2 2026 | $360.4M | 113 | 14 | 27 | 28 | 8 | 46.6% | 34 |
| Q1 2026 | $314.8M | 107 | 17 | 27 | 32 | 15 | 46.0% | 22 |
| Q4 2025 | $299.8M | 105 | 15 | 27 | 36 | 18 | 41.0% | 26 |
| Q3 2025 | $284.4M | 108 | 14 | 28 | 25 | 2 | 39.5% | 23 |
| Q2 2025 | $230.1M | 96 | 21 | 23 | 24 | 9 | 36.7% | 23 |
| Q1 2025 | $225.1M | 84 | 5 | 32 | 27 | 15 | 41.9% | 16 |
| Q4 2024 | $222.6M | 94 | 9 | 26 | 25 | 9 | 38.5% | 28 |
| Q3 2024 | $236.4M | 94 | 14 | 26 | 32 | 12 | 39.7% | 22 |
| Q2 2024 | $216.2M | 92 | 11 | 29 | 23 | 17 | 38.7% | 12 |
| Q1 2024 | $233.2M | 98 | 17 | 25 | 32 | 7 | 40.9% | 23 |
| Q4 2023 | $225.9M | 88 | 10 | 21 | 31 | 11 | 47.4% | 25 |
| Q3 2023 | $190.4M | 89 | 9 | 17 | 30 | 8 | 41.9% | 18 |
| Q2 2023 | $201.0M | 88 | 9 | 18 | 29 | 7 | 47.7% | 33 |
| Q1 2023 | $202.1M | 86 | 0 | 32 | 24 | 9 | 46.8% | 17 |
| Q4 2022 | $206.3M | 95 | 13 | 27 | 26 | 6 | 45.1% | 27 |
| Q3 2022 | $195.4M | 88 | 4 | 28 | 28 | 7 | 52.1% | 25 |
| Q2 2022 | $202.5M | 91 | 5 | 13 | 45 | 25 | 52.8% | 14 |
| Q1 2022 | $254.9M | 111 | 8 | 16 | 45 | 20 | 44.7% | 28 |
| Q4 2021 | $354.6M | 123 | 16 | 27 | 39 | 9 | 42.1% | 45 |
| Q3 2021 | $325.4M | 116 | 6 | 17 | 61 | 8 | 45.9% | 43 |
| Q2 2021 | $334.0M | 118 | 11 | 33 | 46 | 11 | 42.3% | 42 |
| Q1 2021 | $324.6M | 118 | 27 | 52 | 16 | 14 | 42.1% | 163 |
| Q4 2020 | $279.6M | 105 | 14 | 31 | 27 | 8 | 49.8% | 20 |
| Q3 2020 | $238.6M | 99 | 12 | 37 | 20 | 2 | 49.7% | 19 |
| Q2 2020 | $193.5M | 89 | 18 | 26 | 26 | 6 | 51.7% | 22 |
| Q1 2020 | $104.8M | 77 | 14 | 14 | 32 | 28 | 46.7% | 22 |
| Q4 2019 | $181.4M | 91 | 18 | 21 | 40 | 9 | 42.8% | 38 |
| Q3 2019 | $156.2M | 82 | 6 | 16 | 9 | 6 | 44.6% | 46 |
| Q2 2019 | $159.3M | 82 | 10 | 11 | 25 | 11 | 44.1% | 16 |
| Q1 2019 | $148.7M | 83 | 17 | 27 | 20 | 7 | 45.8% | 16 |
| Q4 2018 | $126.1M | 73 | 0 | 0 | 0 | 0 | 48.4% | 28 |
Rows marked UNVERIFIED ID, PLACEHOLDER ID, TICKER AS ID or NON-CUSIP ID carry an identifier that is not a valid CUSIP. They are shown because the filer reported that money, but treat the security named with caution - hover the chip for what is wrong with it, and see the methodology.
Held counts consecutive filings in which this manager reported the position, and can reach further back than the quarters listed above: the tabs begin at Q4 2018 because earlier coverage is too sparse to describe a market, but tenure is counted over every filing we hold, some reaching to 2007. A position sold and later rebought starts again from one.
Weight change is the shift in this position's share of the whole book, in percentage points. It is the more useful column: when money flows into or out of a broad fund, almost every holding is bought or sold at once, so added and trimmed largely track flows. A weight that rose while the book shrank is a decision. Both compare with the previous quarter this filer reported, not the previous calendar quarter.